Annex 3 To The Protocol For Scientific And Technical Cooperation In
Earthquake Studies Cooperative Research In Earthquake Engineering And Hazards
Mitigation Participating Agencies.

US-Side: National Science Foundation

I. General

This annex presents selected areas for cooperative research on earthquake
engineering and hazards mitigation under this Protocol and lays out the
general framework for cooperation. Detailed bilateral implementation plans,
including research tasks, timetable, financial requirements, etc., for each
specific activity will be presented in subsequent joint proposals. Such
proposals will be prepared by the performing institution and/or scientists and
the corresponding counterparts. The selected topics presented below do not
exclude other cooperative activities or projects that might be deemed
desirable by the respective parties for inclusion under this Protocol.

This annex builds on 20 years of bilateral collaboration facilitated by the
Protocol. The US National Science Foundation (NSF), the Chinese Ministry of
Construction (MOC), the China Seismological Bureau (CSB), and the National
Natural Science Foundation of China (NSFC) will implement the Annex. The
program will be jointly coordinated by the Engineering Directorate of the US
National Science Foundation and the Chinese interagency coordinating committee
convened by the Earthquake Resistance Office of the MOC consisting of members
from the Earthquake Resistance Office of the MOC, the Department of
International Cooperation of the CSB, and the Department of Engineering and
Material Science of the NSFC. Financial support for individual projects by
NSF, as well as by the corresponding Chinese agency or agencies, will depend
on joint concurrence by both sides based on merit evaluation of research
proposals following the normal review process established by each side and the
availability of funds.

II. Objective and Scope

Earthquakes occur daily throughout the world. The 1976 Tangshan earthquake in
China, the 1994 Northridge earthquake in the US, and the 1995 Kobe earthquake
in Japan have all illustrated the damaging effects of seismic events on
densely populated urban regions. This is of particular concern because many
such cities, whether located in areas of low, moderate or high seismicity, are
not only some of the most congested in the world, but are also major financial
and industrial centers, and any interruptions to critical facilities and
business operations would certainly result in serious long-term social and
economic consequences. Indeed, the vulnerability of densely populated urban
regions is an international concern, not just in terms of human safety but
also considering the impact on regional, national, and international
economies.

The objective of this annex to the Protocol is to research, develop and
implement, on a cooperative basis, innovative engineering methods and new
enabling technologies that are needed to design, construct, maintain, manage
and renew the built environment for reduced seismic hazard. The research is
envisioned to have three distinct components. The first component is
fundamental research that encompasses basic scientific and engineering
research that pioneers new knowledge for future earthquake engineering
applications. The second component is new technology that enables added
capability for increasing seismic safety and improved infrastructure
performance in an effective and economical manner. Note that new technology is
often developed in a multi-disciplinary environment of science and engineering
research. The third component is earthquake engineering application of
fundamental research and new technology. Demonstration projects and full-scale
implementation of research discoveries are essential for testing new concepts
and transferring knowledge to industry, the private sector, governments, and
other stakeholders in seismic safety.

Based on the recommendations of the panel of international experts
attending the China-US Millennium Symposium on Earthquake Engineering held
November 8-11, 2000 in Beijing, China, the following areas have been
identified as highly promising for bilateral collaboration:

(1) Autoadaptive and Sensing Systems for Disaster Resistant Construction
The vision of research in auto-adaptive and sensing systems is to create a new
generation of sensors, actuators, functional materials, and integrated systems
that will enhance the seismic performance and minimize the seismic response of
the built environment. There have been recent advances in China, the United
States, and other countries on smart materials, in which properties can be
altered with minimal energy. Examples include magnetorheological fluids and
shape memory alloys, and preliminary studies have shown important earthquake
engineering applications for such materials.

Critical issues facing structural health monitoring systems for civil
structures are that the structures are large and complex, the damage is
localized and hidden internally most of the time, and detecting and assessing
localized damage requires a combination of local and global measurements. To
develop a comprehensive diagnostic system, it is necessary to focus on
wireless sensor technology development, integration of excitation and sensing
technologies, innovative analysis and interpretation of measured data based on
engineering principles, and finally the use of processed information for
implementing an effective damage diagnostic and control capability. These
systems should be able to sense damage (i.e. cracking, corrosion, and fatigue)
and provide other measurements, such as displacements, strains, and
accelerations, in either a distributed or a multiplexed manner while being
economical, reliable and easy to use. This component of the research will
facilitate development of materials and devices with embedded signal
processing software that can address these concerns and provide on-line
monitoring of the health of buildings and critical civil infrastructure
systems.

The significance for this area of cooperative research is that new materials
and the associated monitoring and control systems will improve the performance
and safety of the built environment in a cost effective and environmentally
friendly manner. Furthermore, visionary research is likely to promote the
growth of new industries (e.g., materials) with large-scale production and
create new global markets, for civil infrastructure applications in China, the
United States, and other countries.

The cooperative research encourages the following aspects in particular:
(i) Research on new material design for seismic resistance, including
modification of traditional materials and development of new materials with
sensing and self-actuating properties. More future oriented is research into
materials that exhibit self-healing or repair when damaged either by
degradation or by energy dissipation during seismic loading.

(ii) Development of innovative structural components and control systems
that are effective with auto-adaptive and sensing materials. New ways to
connect and configure structural systems, such as bracing and connection
strategies that create post-tension, optimal elastic behavior or embody
automated energy dissipation capability based on the optimal use of the
properties of new materials are emphasized. Consideration is given to both
new construction and upgrading seismic performance of existing structures.
Finally, verification, prototyping, and test-bed studies should be conducted
in China, the United States, and other countries.

(2) Infrastructure Performance-Based Design and Control for Ground Motions
in Urban Areas
The damaging earthquakes attacking Los Angeles, Kobe, Taichung, and Izmit have
dramatically shown the need to gain a deeper fundamental understanding of
near-fault earthquakes. This need is accentuated by the rapid urbanization and
growth of mega- and mid-sized cities in highly seismic Pacific Rim countries.
A larger population and greater variety of buildings and lifelines are exposed
to uncertain but increasing seismic hazard.

Multi-lateral research is urgently needed in all affected countries to focus
on the specific characteristics of earthquakes and how they damage the built
environment. In reality, there are only limited records available, and
engineers and scientists are just beginning to learn about the near-fault
motions and understanding the caustic faulting, directivity, geological and
geotechnical engineering impacts to large-scale destructive effects, and large
permanent ground displacements. As more records become available, particularly
since 1999, more questions are raised about the characteristics of strong
ground motions. In addition, effects of large sedimentary basins and the weak
surficial soils found in many urban coastal regions requires research because
of the large effect they may have on ground motion. New challenges have
emerged as to how best to re-establish seismic design ground motions,
incorporating recently discovered characteristics and phenomena, which still
remain poorly understood.

A cooperative research agenda on infrastructure design for ground motions in
urban regions should include the following components:

(i) Seismological and geotechnical characterization of near-fault ground
motions. The research includes ground motion simulation methods capable of
representing long and short period components and permanent ground
deformation, as well as identification of the engineering parameters or
investigation of the basis of near-fault ground motions that cause damage in
different types of infrastructure components and systems. Creation of an
archival web-based database of recorded and simulated ground motions and
geotechnical site data for (a) verifying ground motion simulations, and (b)
cataloguing damaging characteristics.

(ii) Development of international performance-based design standards that
account for risk and loss, and allow multiple performance objectives to be
met for both new designs and rehabilitation. These new approaches will
assist in mitigating the enormous economic losses in commercial activity and
industrial productivity associated with damage to lifelines and
infrastructure systems.

(iii) Development of new structural components and systems resistant to
specific characteristics of ground motions, including adaptive and smart
vibration control strategies that are optimized for damage protection
against near-fault ground motions.

(3) Advanced Disaster Response Management
The increasing urbanization in mega- or mid-sized cities requires new
technology for rapid and effective emergency response and control for human
and economic needs after a natural disaster. Rapid urbanization with
large-scale infrastructure development and economic exposure are overcoming
the ability to effectively respond after a disaster. Yet, society expects
rapid recovery and reconstruction.

The objectives of cooperative research are to develop the state-of-the-art
technology, analytical tools, and policy instruments to characterize urban
systems, assess vulnerability, estimate spectrum of losses, respond rapidly to
save lives and enhance recovery. There are many opportunities for cooperative
research because of the common aspects of vulnerability in many countries and
the increasingly interdependent economic effects in the global markets. Also
technologies such as GPS and remote sensing have applications worldwide.

Components of the research program should include the following:

(i) Definition of regional risk levels and performance standards, and a
framework for establishing loss reduction goals in urban regions. Rigorous
economic research can be applied to hazard and loss estimation analysis,
such as adaptation of general equilibrium models and evaluating recovery
strategies that have a solid theoretical base or large empirical ground.

(ii) Real-time global or regional information systems (e.g.,
satellite-based, GIS, remote sensing) have potential applications for
emergency response and post-disaster recovery by providing real-time impact
information to emergency officials in a deployable command and control
network. There is an urgent need for research into new technologies for
rapid location and rescue of casualties after a disaster.

(iii) Another important research area is the development of policy
instruments to promote disaster resistant communities, such as incentives,
insurance, and financial mechanisms.

III. Implementation Plan

The bilateral collaboration facilitated by Annex III of the US-China Protocol
for Scientific and Technical Cooperation in Earthquake Studies entitled
Cooperative Studies on Earthquake Engineering and Hazards Mitigation has been
extremely effective, and continued strong joint development and support of
forefront research as outlined are essential. To ensure adequate support and
effective program coordination annual meetings will be held, attended by
representatives from each of the participating agencies (US: National Science
Foundation. China: Ministry of Construction of China, China Seismological
Bureau, and the National Natural Science Foundation of China), as well as
representatives from the research community of each country. The primary
objectives of these meetings will be to: (i) evaluate the previous year's
progress, (ii) chart the course of the subsequent year, and (iii) develop new
long-term joint program initiatives. Additionally, every four years a meeting
to coordinate activities with the other Annexes to the Protocol Agreement
should be held.
Essential to the success of this cooperative Annex is development of
multi-institutional and cross-disciplinary research within each country as
well as across national boundaries. New and traditional modes of research
cooperation should be pursued and implemented to expand the cooperation,
including:

Use of bilateral/multilateral seminars and workshops to facilitate
the broad exchange of research information and results should be expanded.

Leveraging of limited resources emphasis should be placed on
government-university-industry alliances.
In addition to traditional single investigator research activities,
team research and center-to-center research approaches should be pursued
as appropriate.

With many of the largest cities in the US and China vulnerable to
multiple natural hazards, the trend toward larger disasters and increased
human and financial losses is certain to continue. To develop more
consistent and effective hazard mitigation strategies, multiple hazard
approaches should be pursued.

Organization of joint field reconnaissance investigation of destructive
earthquakes.

Enhancement of mutual understanding through additional two-way personnel
exchanges, to include professionals and students at all levels.

Provide leadership for the initiation of new science and
technology-based programs through regional and multi-lateral cooperation.
Emphasize programs that can benefit developing countries through timely
knowledge and technology transfer on a partnership basis.

IV. 2001 Plans

(1) Development of a new summer student exchange program in natural hazard
mitigation between the US and China. A solid foundation for bilateral
cooperation will require increased two-way personnel exchanges at all
levels, from students through faculty. However, the seeds of future
cooperation must be planted now. The primary goals of such a summer program
are to introduce US and Chinese graduate students to science and engineering
as practiced in the counterpart country and to initiate personal
relationships that will better enable them to collaborate in the future. The
nominal length of this summer program will be 6-10 weeks.

(2) Continuation and expansion of the on-going Researchers Exchange Program
with the Annex.

(3) Participate in the 3rd International Earthquakes and Megacity Workshop,
to be held in Shanghai, November 2001.

(4) Conduct a workshop in the focus research area of Autoadaptive and
Sensing Systems for Disaster Resistant Construction. The workshop shall be
in the fall of 2001, in the U.S.

(5) The Program coordination meeting shall be held during the fall of 2001,
in China.

V. 2002 Plans

(1) Continue projects started in 2001 and initiate some additional
above-mentioned items of cooperative study.

(2) Increase the exchange of scientific information and personnel.

(3) Prepare a bilateral joint conference on Infrastructure Design for Ground
Motions in Urban Areas during the summer of 2002, in China.